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Posts Tagged Financial Industry Regulatory Authority

NASAA Takes Aim At REIT Sales

The North American Securities Administrators Association has once again taken aim at REIT sales practices. According to the Wall Street Journal, the group wants to push legislation that would limit the percentage of an individual ‘s net worth that could be invested in nontraded REITs. A REIT is a nontraded Real Estate Investment Trust. Created [...]

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Massachusetts Targets REITs… Again

We have written many posts about REITs – Real Estate Investment Trusts. They can be great investments but many have liquidity problems. Stockbrokers often recommend them to the wrong customers as well. In May, Massachusetts Secretary of State William Gavin announced that five brokerage firms had agreed to pay restitution of $6.1 million to settle [...]

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Lincoln Financial Advisors Rep Sanctioned By FINRA

Lincoln Financial Advisors says it wants to be the country’s “premier fee-based financial planning firm.” A recent decision by the Financial Industry Regulatory Authority’s (FINRA) Enforcement Department suggests that the firm is off to a rocky start. FINRA sanctioned  former registered rep and investment advisor William Babb III with “trading away” and failure to cooperate [...]

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Securities America Fined For Improper Supervision – Stockbroker Fraud Post

Securities America is a large broker dealer headquartered in La Vista Nebraska. Licensed in all 50 states and in business for over 3 decades, the firm is well established in the industry. Lately, however, it has attracted some negative attention for its business practices. Some say the company has allowed or ignored fraud by some [...]

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TIC Awards Still Haunt Brokerage Firms

Claims for failed Tenants in Common (TIC) investments still haunt stockbrokers and investment advisers according to a story in InvestmentNews. According to the report published on Friday, arbitration awards continue to be made against broker dealers. TICs were a popular investment vehicle several years ago. An IRS ruling allowed individuals to pool their monies and [...]

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Stockbroker Fraud – Another Broker Dealer In Dire Straits

Stockbroker fraud is a hot topic these days. Thousands of investors make claims each year about investment scams and Ponzi schemes. In many cases, when the dust settles, the only “deep pocket” is the brokerage firm that facilitated the sale of the investment. Other times, registered reps simply don’t take the time to know their [...]

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FINRA Attacks New Type Of Securities Fraud

Securities fraud costs investors billions of dollars annually. Sometimes the promoter is the fraudster (think Bernie Madoff) and other times it is the stockbroker trying to make a quick buck. This week the Financial Industry Regulatory Authority – FINRA – levied a whopping $7.5 million fine against LPL securities for email violations. Email violations? Thats [...]

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Hooters Girls and Investment Fraud

The story written by Bruce Kelly of Investment News had all the makings of a tabloid scandal. Stockbrokers, forged documents, sexual harassment, an SEC investigation, Hooters girls and the misappropriation of customer funds from a prominent brokerage firm. The problem is that Kelly is a real journalist and the story he penned today about Commonwealth [...]

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Success Trades Securities In Trouble? FINRA Says Yes (stockbroker fraud post)

by Brian Mahany Success Trades Securities has a great name. They also have the financial backing of many NFL and NBA players. Regulators say that some of these players invested in the company in exchange for a promised rate of return between 12 and 26%. Banking news source bank rate.com says the average interest rate [...]

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Stockbrokers Dont Want To Air Dirty Laundry – Stockbroker Fraud Post

by Brian Mahany We are firm believers in full and complete disclosure. Americans are smart enough to understand that not every complaint against a stockbroker is legitimate. Many complaints are unfounded or frivolous. But as customers and clients, we should have the right to know if other complaints are pending against a broker. Under a [...]

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